FundOpp_DE-FOA-0003376.pdf

U.S. Department of Energy (DOE) Office of Manufacturing and Energy Supply Chains (MESC)

Bipartisan Infrastructure Law (BIL)

Smart Manufacturing and Recycling Tactics for States (SMART)

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003376

FOA Type: Initial Assistance Listing Number: 81.253

FOA Issue Date: 08/01/2024 Informational Webinar: 08/06/2024 2:30 p.m. ET Submission Deadline for Full Applications: 09/16/2024 5:00 p.m. ET Expected Date for DOE Selection Notifications: December 2024 Expected Timeframe for Award Negotiations: December 2024 – May 2025

• To apply to this FOA, applicants must register with and submit application materials through Clean Energy Infrastructure (S3) Exchange at https://infrastructure-exchange.energy.gov/, MESC’s online application portal.

• Applicants must designate primary and backup points-of-contact in S3 Exchange with whom DOE will communicate to conduct award negotiations. If an application is selected for award negotiations, it is not a commitment to issue an award. It is imperative that the applicant/selectee be responsive during award negotiations and meet negotiation deadlines. Failure to do so may result in cancelation of further award negotiations and rescission of the selection.

• Unique Entity Identifier (UEI) and System for Award Management (SAM) - Each applicant is required to: (1) register in the SAM at https://www.sam.gov before submitting an application; (2) provide a valid UEI in the application; and (3) maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency (unless the applicant is excepted from those requirements under 2 CFR 25.110).

DOE may not make a federal award to an applicant until the applicant has complied with all applicable UEI and SAM requirements. If an applicant has not fully complied with the requirements by the time DOE is ready to make a federal award, DOE will determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

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NOTE: Due to the high number of UEI requests and SAM registrations, entity legal business name and address validations are taking longer than expected to process.

Entities should start the UEI and SAM registration process as soon as possible. If entities have technical difficulties with the UEI validation or SAM registration process, they should use the HELP feature on SAM.gov. SAM.gov will address service tickets in the order in which they are received and asks that entities not create multiple service tickets for the same request or technical issue. Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base - Validating your Entity.

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SUMMARY OVERVIEW OF KEY INFORMATION

Issuing Agency Department of Energy, Office of Manufacturing and Energy Supply Chains

Program Overview This Funding Opportunity Announcement (FOA) will provide funding to support:

• access to smart manufacturing technologies and high-performance computing (HPC) resources for small- and medium-sized manufacturers (SMMs); and

• the recycling of batteries and battery-containing devices to support the establishment of a robust domestic critical material supply chain for electric vehicle batteries.

Funding from this FOA will be for projects to establish new or expand upon existing programs to support the two areas listed above.

Objective Area of Interest 1: For States to establish or expand programs to assist small-and medium-sized manufacturers in accessing and implementing smart manufacturing technologies and practices and accessing high-performance computing resources.

Area of Interest 2: For States and units of local government to establish or enhance battery collection, recycling, and reprocessing to support a domestic battery and critical materials supply chain.

Areas of Interest

(AOI)

• AOI 1: State Manufacturing Leadership Program

• AOI 2: State and Local Battery Collection, Recycling, and Reprocessing

Program

Eligible Applicants • AOI 1: State entities

• AOI 2: State entities, local government entities

Funding It is anticipated that this FOA will provide a total Federal funding amount of $63,000,000 over 2 to 5 years.

• AOI 1: approximately $22,000,000 Federal funding; 23.1% cost share requirement

• AOI 2: approximately $41,000,000 Federal funding; 50% cost share requirement

Deadlines September 16, 2024, at 5:00 pm ET: Full Application Due

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Funding Opportunity Announcement Overview (Frequently Asked Questions):

Frequently Asked Question Where to Look

1. Why is the U.S.

Department of Energy (DOE) issuing this announcement?

The U.S. Department of Energy is deploying funding from the Bipartisan Infrastructure Law to establish and enhance State programs that 1) support US small- and medium-sized manufacturers’ (SMMs) of all products access to smart manufacturing technologies and/or access to high-performance computing resources, as well as 2) establish and expand state and local battery recycling programs.

Accordingly, this program has two Areas of Interest (AOIs), a first on bringing advanced manufacturing to US SMMs (AOI 1), and a second on working with state and local government to enhance battery recycling (AOI 2).

Information on the motivation for this announcement can be found in Section I.A Background and Context.

2. Who can apply for this funding?

Area of Interest (AOI) 1: State entities Area of Interest (AOI) 2: State entities and/or local government entities

For eligibility criteria, see Section III.A.i Restricted Eligibility.

3. How do I apply?

To apply, applicants must:

• Register in the Clean Energy Infrastructure (S3)

Exchange system (https://infrastructure-exchange.energy.gov);

• Register in the System for Award Management (SAM) and obtain/have a Unique Entity Identifier (UEI) to apply for this funding;

• Register in Grants.gov to receive automatic updates when Amendments to this announcement are posted;

• Submit a Full Application that complies with the announcement requirements; and

• Register in FedConnect to receive an Award if selected.

Details around applying for the award can be found on the Cover Page, and Section IV.A Application Process.

4. When are the key deadlines?

Key deadlines for submitting information to DOE and anticipated timeline for the process can be found on the Cover Page.

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5. How much DOE funding is available?

DOE is making available up to $63,000,000 over 2 to 5 years.

Area of Interest 1: approximately $22,000,000 Federal funding with a maximum award of $2,000,000.

Area of Interest 2: approximately $41,000,000 Federal funding with a maximum award of $10,000,000.

See Section II.A.i Estimated Funding.

6. What types of projects is DOE seeking? What does my application need to show?

DOE is seeking projects that fall under one of two separate Areas of Interest (see Section V.A.i Technical Review Criteria):

Area of Interest (AOI) 1: Project run by a state entity will help establish or expand small- and medium-sized manufacturers’ access to and implementation of smart manufacturing technologies and practices and/or access to high-performance computing resources; or

Area of Interest (AOI) 2: Project run by a state or local unit of government that will help establish or enhance used consumer electronics battery collection, recycling, and reprocessing to support a domestic battery and critical materials supply chain.

Project applications should identify all corporate and community partners, but the state of local entity should be the prime applicant.

See Questions 7-9 for more information on essential application elements and requirements.

7. Are applicants required to provide cost share? What is meant by cost share?

Cost sharing is required under this announcement. Cost sharing refers to the minimum amount of funding the applicant needs to provide, out of the total project cost. Cost share can come from any non-federal source, i.e. cash on hand, philanthropy, corporate investment, etc. If the project is awarded, DOE will fund the balance.

Area of Interest 1: Requires 23.1% Cost Share, i.e. applicants need to fund a minimum of 23.1% of the total project cost.

Area of Interest 2: Requires 50% Cost Share, i.e. applicants need to fund a minimum of 50% of the total project cost.

Please see Section III.B Cost Sharing for more information.

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8. What are the application requirements?

All applicants will need to provide the documents listed in Section IV.C Content and Form of the Full Application.

9. What is a Community Benefits Plan and what should a Community Benefits Plan address?

A Community Benefits Plan relays the Applicant’s approach to ensure that the federal investment in the project advances four goals:

1. community and labor engagement;

2. investing in job quality and workforce continuity;

3. advancing diversity, equity, inclusion, and accessibility

(DEIA); and

4. contributing to the Justice40 Initiative.

Applications that do not thoroughly represent the community benefits plan will be non-competitive.

Further details on Community Benefits Plans can be found in Section IV.C.v Community Benefits Plan.

10. What happens after I submit my Full Application?

DOE will have independent reviewers evaluate each project against the criteria outlined in Section V.A.i, and then convene a federal consensus board to select the final portfolio. If clarifications are required, DOE may reach out to the applicant.

For details on the review criteria for Full Applications see Section V.A.i Technical Review Criteria and Section V.C.i Program Policy Factors.

11. What does it mean to be selected for negotiations and do I get the money right away?

If an applicant is selected for negotiations based on its application, then DOE notifies the applicant with the news that it has been selected to enter a negotiation phase. During negotiations DOE and the applicant work together to make sure project milestones, budget, and other key documents are agreed upon before DOE and the applicant sign an award.

While being selected for negotiations is a significant achievement and we aspire for all selected applicants to be awarded, funding is contingent on bringing negotiations to a close and moving into the “awarded stage”. Even after being awarded, applicants do not receive funding immediately. The DOE project officially starts once the agreement is signed and funding will be made available based on the terms of the award.

Further information can be found in Section VI Award Administration Information.

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12. What ongoing reporting and documentation will I have to provide?

Reporting requirements will be identified on the Federal Assistance Reporting Checklist, which will be attached to the award agreement.

Further information can be found in Section VI.B.xii Reporting.

13. How can I learn more or ask other questions?

To learn more, email DE-FOA-0003376@netl.doe.gov.

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Table of Contents

SUMMARY OVERVIEW OF KEY INFORMATION .................................................................................................... iii

Table of Contents ............................................................................................................................................. viii

I. Funding Opportunity Description

A. Background and Context

i. Program Purpose

B. Areas of Interest C. Applications Specifically Not of Interest D. Community Benefits Plan: Job Quality and Equity E. Authorizing Statutes F. Notice of Bipartisan Infrastructure Law–Specific Requirements

II. Award Information

A. Award Overview

i. Estimated Funding

ii. Period of Performance

iii. New Applications Only

B. DOE Funding Agreements

i. Cooperative Agreements

ii. Funding Agreements with Federally Funded Research and Development Center (FFRDCs)

III. Eligibility Information

A. Eligible Applicants

i. Restricted Eligibility

ii. Domestic Entities

iii. Foreign Entities

B. Cost Sharing

i. Legal Responsibility

ii. Cost Share Allocation

iii. Cost Share Types and Allowability

iv. Cost Share Contributions by FFRDCs

v. Cost Share Verification

vi. Cost Share Payment

C. Compliance Criteria D. Responsiveness Criteria E. Other Eligibility Requirements

i. Requirements for DOE/NNSA and Non-DOE/NNSA FFRDCs Included as a Subrecipient F. Limitation on Number of Full Applications Eligible for Review G. Questions Regarding Eligibility

IV. Application and Submission Information

A. Application Process

i. Additional Information on S3 Exchange

B. Application Forms C. Content and Form of the Full Application

i. Full Application Content Requirements

ii. SF-424: Application for Federal Assistance

iii. Technical Volume

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iv. State of Project Objectives (SOPO)

v. Community Benefits Plan: Job Quality and Equity

vi. Community Partnership Documentation

vii. Budget Justification Workbook

viii. Subrecipient Budget Justification (if applicable)

ix. Letters of Commitment

x. Resumes

xi. Impacted Indian Tribes Documentation (AOI 2 only)

xii. Summary for Public Release

xiii. Summary Slide

xiv. Location(s) of Work (AOI 2 only)

xv. Environmental Questionnaire (EQ)

xvi. Environmental Information Volume (EIV) (AOI 2 only)

xvii. Budget for DOE/NNSA FFRDC (if applicable)

xviii. Authorization for Non-DOE/NNSA or DOE/NNSA FFRDCs (if applicable)

xix. SF-LLL: Disclosure of Lobbying Activities

xx. Waiver Requests (if applicable)

xxi. Transparency of Foreign Connections

xxii. Current and Pending Support

xxiii. Potentially Duplicative Funding Notice

D. Post Selection Information Requests E. Unique Entity Identifier (UEI) and System for Award Management (SAM) F. Submission Dates and Times G. Intergovernmental Review H. Funding Restrictions

i. Allowable Costs

ii. Pre-Award Costs

iii. Performance of Work in the United States (Foreign Work Waiver)

iv. Construction

v. Foreign Travel

vi. Equipment and Supplies

vii. Build America Buy America Requirements for Infrastructure Projects

viii. Davis-Bacon Act Requirements

ix. Lobbying

x. Risk Assessment

xi. Invoice Review and Approval

xii. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs

xiii. Affirmative Action and Pay Transparency Requirements

xiv. Foreign Collaboration Considerations

V. Application Review Information

A. Technical Review Criteria

i. Full Applications

B. Standards for Application Evaluation C. Other Selection Factors

i. Program Policy Factors D. Evaluation and Selection Process

i. Overview

ii. Pre-Selection Interviews

iii. Pre-Selection Clarification

iv. Recipient Responsibility and Qualifications

v. Selection

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E. Anticipated Notice of Selection and Award Negotiation Dates

VI. Award Administration Information

A. Award Notices

i. Ineligible Submissions

ii. Full Application Notifications

iii. Applicants Selected for Award Negotiations

iv. Alternate Selection Determinations

v. Unsuccessful Applicants

B. Administrative and National Policy Requirements

i. Registration Requirements

ii. Award Administrative Requirements

iii. Foreign National Participation

iv. Subaward and Executive Reporting

v. National Policy Requirements

vi. Environmental Review in Accordance with National Environmental Policy Act (NEPA)

vii. Flood Resilience

viii. Applicant Representations and Certifications

ix. Statement of Federal Stewardship

x. Statement of Substantial Involvement

xi. Intellectual Property Provisions

xii. Reporting

xiii. Go/No-Go Review

xiv. Conference Spending

xv. Uniform Commercial Code (UCC) Financing Statements

xvi. Real Property and Equipment

xvii. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty

xviii. Participants and Collaborating Organizations

xix. Current and Pending Support

xx. Interim Conflict of Interest Policy for Financial Assistance

xxi. Fraud, Waste, and Abuse

xxii. Human Subjects Research

xxiii. Cybersecurity Plan (AOI 2 only)

xxiv. Construction Signage

VII. Questions/Agency Contacts

VIII. Other Information

A. FOA Modifications B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Treatment of Application Information E. Evaluation and Administration by Non-Federal Personnel F. Notice Regarding Eligible/Ineligible Activities G. Notice of Right to Conduct a Review of Financial Capability H. Requirement for Full and Complete Disclosure I. Retention of Submissions J. Copyright K. Export Control L. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment M. Personally Identifiable Information (PII) N. Annual Independent Audits

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O. Informational Webinar

Appendix A – Smart Manufacturing and High-Performance Computing

Appendix B – Examples of available resources that support adoption of smart manufacturing technologies or high-performance computing resources across the United States

Appendix C – Cost Share Information

Appendix D – Waiver Requests For: 1. Foreign Entity Participation; and 2. Foreign Work

Appendix E – Buy America Requirements for Infrastructure Projects

Appendix F – Definition of Technology Readiness Levels

Appendix G – List of Acronyms

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I. Funding Opportunity Description

A. Background and Context The Office of Manufacturing and Energy Supply Chains is issuing this Funding Opportunity Announcement (FOA). Awards made under this FOA will be funded, in whole or in part, with funds appropriated by the Infrastructure Investment and Jobs Act,1 more commonly known as the Bipartisan Infrastructure Law (BIL).

BIL is a once-in-a-generation investment in modernizing and upgrading American infrastructure to enhance U.S. competitiveness, drive the creation of good-paying jobs with a free and fair chance to join a union, tackle the climate crisis, and ensure strong access to economic, environmental, and other benefits for disadvantaged communities.2 BIL appropriates more than $62 billion to the U.S. Department of Energy (DOE)3 to invest in American manufacturing and workers; expand access to energy efficiency and clean energy; deliver reliable, clean, and affordable power to more Americans; and demonstrate and deploy the technologies of tomorrow through clean energy demonstrations.

DOE’s BIL investments will support efforts to build a clean and equitable energy economy that achieves a zero-carbon electricity system by 2035, and to put the United States on a path to achieve net-zero emissions economy-wide by no later than 20504 to benefit all Americans.

The activities to be funded under this FOA support BIL sections 40534 and 40207(f)(3) and the broader government-wide approach to reinvigorating and reinvesting in the American industrial base; catalyzing American leadership and

1 Infrastructure Investment and Jobs Act, Public Law 117-58 (November 15, 2021).

https://www.congress.gov/bill/117th-congress/house-bill/3684. This FOA uses the more common name Bipartisan Infrastructure Law (BIL).

2 Pursuant to Executive Order (EO) 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021, and the Office of Management and Budget’s Interim Justice40 Implementation Guidance M-21-28 and Addendum M- 23-09, DOE recognizes disadvantaged communities as the census tracts identified as disadvantaged by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/, as well as all Federally Recognized Tribes (whether or not they have land).

See https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf. DOE’s Justice40 Implementation Guidance is located at https://www.energy.gov/sites/default/files/2022- 07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf.

3 U.S. Department of Energy. November 2021. “DOE Fact Sheet: The Bipartisan Infrastructure Deal Will Deliver for American Workers, Families and Usher in the Clean Energy Future.” https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 4 EO 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

mailto:DE-FOA-0003376@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.congress.gov/bill/117th-congress/house-bill/3684 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://screeningtool.geoplatform.gov/ https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/

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global competitiveness in the clean energy economy, investing in the American manufacturing workforce; and maximizing the benefits of the clean energy transition as the nation works to curb the climate crisis, empower workers, and advance environmental justice. These BIL sections are focused on:

• Appropriations of $50 million over Fiscal Years (FYs) 2022 through 2026 to establish the State Manufacturing Leadership Program (SMLP), which supports state entities to provide assistance to small- and medium-sized manufacturers (SMMs) to:

o facilitate access to high-performance computing (HPC) resources; and o implement smart manufacturing technologies and practices.5 The SMLP awarded over $22,000,000 of the $50,000,000 in federal funds in April 2024 to 12 projects in 12 states.6

• Appropriations of $41 million over FYs 2022 through 2026 to increase the number of state and local programs to assist in the establishment or enhancement of state battery collection, recycling, and reprocessing programs, with the goal of:

o increasing participation in recycling programs; and o developing recycling programs for electronics and batteries that can help immediately support a domestic battery supply chain.7

i. Program Purpose The Biden Administration has laid out a bold agenda to upgrade and modernize infrastructure, address the climate crisis, and build a clean and equitable energy economy that achieves carbon pollution free electricity by 2035 and puts the United States on a path to achieve net-zero emissions, economy-wide, by no later than 2050 to the benefit of all Americans.8 The DOE is committed to pushing the frontiers of science and engineering, catalyzing clean energy jobs through research, development, demonstration, and deployment (RDD&D), and ensuring environmental justice for disadvantaged communities and inclusion of underserved communities.

As part of the whole-of-government approach to advance equity and encourage worker organizing and collective bargaining,9,10,11 and in alignment with BIL sections

5 BIL § 40534(d).

6 For information about the Round 1 selectees, visit https://www.energy.gov/mesc/state-manufacturing-leadership-program-selections.

7 BIL § 40207(f)(3).

8 Executive Order (E.O.) 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

9 E.O. 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government,” January 20, 2021.

10 E.O. 14025, “Worker Organizing and Empowerment,” April 26, 2021.

11 E.O. 14052, “Implementation of the Infrastructure Investment and Jobs Act,” November 18, 2021.

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40534 and 40207, this FOA and any related activities will seek to encourage meaningful engagement and participation of workforce organizations, including labor unions, as well as underserved communities and underrepresented groups, including Indian Tribes. Consistent with Executive Order 14008,12 this FOA is designed to help meet the goal that 40% of the benefits of the Administration’s investments in clean energy and climate solutions be delivered to disadvantaged communities, as defined pursuant to the Executive Order, and to drive creation of accessible, good-paying jobs with the free and fair chance for workers to join a union.

Through the two (2) Areas of Interest (AOIs) of this FOA, the FOA will provide approximately $63 million in support of programs by state or local government entities with the following purposes:

AOI 1: State Manufacturing Leadership Program (SMLP) The digitization of manufacturing is transforming the industrial sector. In recent years, manufacturing firms have invested in bringing computers and electronics into their processes to automate processes. While companies could utilize robots to perform some processes without human intervention, they required programming and could only execute certain activities. Through smart manufacturing, or “Industry 4.0”, the focus is shifting to interconnectivity, automation, and using real-time data to improve production; facilitating the adoption of advanced industrial robotics, artificial intelligence, and cybersecurity technologies that are critical to resilience and maintaining a competitive edge; and increasing product quality and sustainability by allowing manufacturers to sense and then correct anomalies.13

This AOI will support state entities in accelerating the deployment of smart manufacturing and high-performance computing technologies across their small-and medium-sized manufacturing firm base. DOE strives to make adoption of smart manufacturing technologies more accessible by partnering with states to remove cost and complexity barriers. In doing so, this AOI contributes to the Administration’s goals of catalyzing American leadership and global competitiveness in the clean energy economy.

Smart manufacturing technologies can help SMMs identify opportunities for optimizing energy management, energy productivity, and energy efficiency.

Accelerating the adoption of smart manufacturing technologies will not only accelerate innovation and competitiveness but will also yield efficiencies that can

12 E.O. 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

13 National Institutes of Standards and Technology, https://www.nist.gov/blogs/manufacturing-innovation-blog/cybersecurity-and-industry-40-what-you-need-know.

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reduce energy costs while driving down industrial emissions, which is essential for reaching national and global climate goals.

Training workers on the use of smart manufacturing technologies, maintenance of systems, and other associated skills will upskill the manufacturing workforce across the country. This AOI aims to expand smart manufacturing training for American workers through funding that enables states to increase the capacity of existing workforce development programs. Investing in the American workforce will ensure the emerging net zero economy delivers equitable economic prosperity to the American people.

For more info on Smart Manufacturing and High-Performance Computing resources, see Appendix A.

AOI 2: State and Local Battery Collection, Recycling, and Reprocessing Program Batteries are a critical element of the ongoing transition to an energy economy that is decarbonizing and lowering energy costs to American families and businesses, and also critical to national competitiveness–for grid storage, for the resilience of homes and businesses, and for electrification of the transportation sector.

With the demand for EVs and stationary storage alone projected to increase the size of the lithium battery market five- to ten-fold by the end of the decade, it is essential that the United States invests in projects that encourage recycling of batteries and battery-containing devices, develop methods to reduce the cost of recycling batteries, and accelerate the establishment of new collection, reprocessing, and recycling programs in states and localities. The recycling of batteries and battery-containing devices is paramount for the establishment of a robust domestic critical material supply chain for EV batteries. For instance, a recent analysis shows that the majority of cobalt entering the recycled material supply chain for EVs will come from consumer electronics batteries until nearly 2040 (Figure 1).14

14 NREL Analysis. Cahya Winofa, Weigl, 2023.

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Figure 1. Availability of cobalt from domestic sources between 2020 and 2050.

B. Areas of Interest Area of Interest Title

1 State Manufacturing Leadership Program 2 State and Local Battery Collection, Recycling, and

Reprocessing Program

All work for projects selected under this FOA must be performed in the United States. See Section IV.H.iii. and Appendix D.

i. Area of Interest 1: State Manufacturing Leadership Program (SMLP)

Introduction: The rapid development, deployment, and adoption of smart manufacturing technologies is a high priority for increasing economic competitiveness, efficiency, and energy productivity – and decreasing greenhouse gas emissions – in all U.S. manufacturing sectors.15

For the purposes of this AOI:

• “Smart Manufacturing” means advanced technologies in information, automation, monitoring, computation, sensing, modeling, artificial intelligence, analytics, and networking that—

(A) digitally

(i) simulate manufacturing production lines;

15 U.S. Department of Energy, National Smart Manufacturing Strategic Plan (July 2022).

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(ii) operate computer-controlled manufacturing equipment;

(iii) monitor and communicate production line status; and

(iv) manage and optimize energy productivity and cost throughout production;

(B) model, simulate, and optimize the energy efficiency of a factory building;

(C) monitor and optimize building energy performance;

(D) model, simulate, and optimize the design of energy efficient and sustainable products, including the use of digital prototyping and additive manufacturing to enhance product design;

(E) connect manufactured products in networks to monitor and optimize the performance of the networks, including automated network operations; and

(F) digitally connect the supply chain network.16

• “High-Performance Computing” means the use of supercomputers, sophisticated models, and/or large data sets to study and solve complex scientific and technological challenges.

Objective: Consistent with BIL 40534, the objective of this AOI is to expand access to smart manufacturing technologies and practices and high-performance computing resources for SMMs.

DOE is seeking applications for projects under this AOI from state entities to establish new or expand existing programs that (1) provide assistance to SMMs to implement smart manufacturing technologies and practices and (2) facilitate access to high-performance computing resources for SMMs.

Requirement: Applications for projects under this AOI must include support to SMMs that are focused on all or a subset of the following areas:

• Outreach: Promoting the benefits of smart manufacturing technologies among SMMs based on national and regional economic development and supply chain priorities;

• Training and Workforce Development: Educating the current and future workforce on smart manufacturing technologies, to include through apprenticeship, internship, or certification programs.

• Facility, Product, or Process Assessments: Evaluating SMM facilities for potential smart manufacturing technology improvements or leveraging HPC resources to identify product or process improvements.

16 BIL § 40531(7)

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• Roadmapping: Building executable plans to implement smart manufacturing improvements for SMMs.

• Direct Technology Implementation: Identifying and/or directly providing financial assistance to facilitate SMMs’ access to and/or implementation of smart manufacturing and high-performance computing resources and technologies.

• Networking: Connecting SMMs with a diverse coalition of public and private technical assistance providers, such as the Manufacturing USA institutes, the National Laboratories, Industrial Assessment Centers (IACs), National Institute of Standards and Technology (NIST) Manufacturing Extension Partnerships (MEPs), and institutions of higher education (IHEs).

In designing programs, states should familiarize themselves with the National Strategy for Advanced Manufacturing,17 as well as with existing national resources. See below for more information.

SMLP Technical Assistance (TA) Field Manager To support the impact and effectiveness of the SMLP, DOE will be partnering with a Technical Assistance (TA) Field Manager who will provide technical expertise, guidance, and access to existing smart manufacturing resources for SMLP projects.

Specifically, the TA Field Manager will support SMLP and selected projects by:

• Providing access to existing training tools and resources that can be leveraged by projects to accelerate their smart manufacturing training programs;

• Reviewing and advising on technical and training classes, curricula, and certification programs designed by projects to improve the quality of the training materials and ensure they are up to industry standards;

• Reviewing and advising on facility assessments, roadmapping tools, business self-evaluations, and other assessment-related processes, tools, and materials designed by projects in order to improve their impact and effectiveness;

• Advising projects on the most recent available smart manufacturing technologies and current U.S. and international best practices and standards;

• Sharing industry use cases, manufacturing data, and industry best practices;

and

• Conducting periodic virtual and/or in-person meetings or site visits with projects to assess and advise on the performance of training, technology demonstrations, facility assessments, or other related activities performed by the projects.

17 Subcommittee on Advanced Manufacturing Committee on Technology, National Science and Technology Council, National Strategy for Advanced Manufacturing, October 2022.

mailto:DE-FOA-0003376@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.whitehouse.gov/wp-content/uploads/2022/10/National-Strategy-for-Advanced-Manufacturing-10072022.pdf https://www.whitehouse.gov/wp-content/uploads/2022/10/National-Strategy-for-Advanced-Manufacturing-10072022.pdf

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At a minimum, all projects selected under this AOI will be required to interact with the TA Field Manager in their role supporting the execution of SMLP projects and evaluating the impact and effectiveness of the SMLP program at large. Applicants are strongly encouraged to leverage the tools, resources, and expertise available from the TA Field Manager listed above. Leveraging these tools and resources may help a project expedite the delivery and reduce the cost of providing assistance to SMMs. Additionally, because the TA Field Manager is funded by DOE and contracted to support the SMLP program at large, their support is at no-added-cost to selected projects.18

At this time of this FOA, DOE has not selected an entity to serve as the SMLP TA Field Manager. Examples of other available resources that support adoption of smart manufacturing technologies across the United States are included in Appendix B.

ii. Area of Interest 2: State and Local Battery Collection, Recycling, and Reprocessing Program

Introduction: To promote domestic battery manufacturing and recycling, there is a need to provide for the general collection, recycling, and reprocessing of batteries. Recent reports such as the Executive Order on America's Supply Chains19 provided recommendations to support high-capacity batteries including investments to accelerate the scale-up of recycling, incentivize higher collection rates, and disincentivize landfilling. Recycling was also identified as a key goal in The National Blueprint for Lithium Batteries, a report developed by the Federal Consortium for Advanced Batteries, specifically calling to establish and support U.S. industry in implementing a blueprint that will enable a secure domestic lithium battery recycling ecosystem to reduce constraints imposed by materials scarcity, enhance environmental sustainability, and support a U.S.-based circular materials supply chain.

Objective: Consistent with BIL 40207(f)(3), the objective of this AOI is to establish programs that will assist states and units of local government in the establishment or enhancement of battery collection, recycling, and reprocessing. Applications should strive to achieve sustainable investments in establishing state or local recycling processes and infrastructure.

Programs can focus on any or all of these recycling steps, such as collecting, handling, sorting, storing, and transporting spent and discarded batteries and

18 As a subcontractor to DOE in support of the State Manufacturing Leadership Program, the TA Field Manager cannot serve as a subrecipient on any project under AOI 1 for this FOA.

19 E.O. 14017, “America’s Supply Chains,” February 24, 2021.

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electronics containing batteries. They do not need to address or propose industrial or chemical processes for recycling. Activities should address key challenges such as transportation; collection/storage; and overall communication, training, and public information. Each applicant must specify how the proposed program will report on the number of battery collection points to be established or enhanced and the quantity of material to be collected.

DOE is seeking applications for projects under this AOI from state-entities or local government entities to establish or enhance programs for battery collection, recycling, and reprocessing. Applications should strive to achieve sustainable investments in establishing state or local recycling processes and infrastructure.

Requirements

• Applications must describe a recycling program for batteries with operational elements such as staffing, supplies, equipment, and locations. This program must include elements of battery collection, sorting, storing, transporting, recycling, and/or reprocessing.

• Applications must address current issues, challenges, and opportunities for battery recycling, such as, but not limited to:

o Collection: How to increase collection amounts and rates o Sorting: How to increase sorting accuracy, and reduce contamination in the recycling stream o Storage: Cost effective solutions compliant with federal, state, and local hazardous waste or universal waste storage requirements, such as 40 CFR parts 262-265 or 40 CFR part 273 (or state equivalents) for batteries, and all applicable fire code and/or other safety requirements o Transportation: Cost effective solutions compliant with DOT shipping requirements, such as 49 CFR 173.185 for batteries o Information: Amplification and dissemination of battery recycling resources including training, public information, workforce development/ training resources, and battery information such as identification, handling, safety, proper disposal, and regulations

• Applications must structure scope and tasks to provide reporting on the number of battery collection points to be established or enhanced and the quantity of material to be collected.

• Applications must provide data and documentation to support anticipated collection amounts (pounds), rates (pounds collected annually), and site selection(s).

• Applications must provide data and documentation to support anticipated downstream recycling, reprocessing, or material re-processors, users, or industries.

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An application submitted under this AOI is required to focus on activities that align with the following definition of “battery” in BIL § 40207(f)(1)(B): “The term ‘battery’ means a device that—(i) consists of 1 or more electrochemical cells that are electrically connected; and (ii) is designed to store and deliver electric energy.”:

Deliverables The number of battery collection points established or enhanced, and the quantity of material collected as a result of this cooperative agreement (pounds collected annually).

C. Applications Specifically Not of Interest The following types of applications will be deemed nonresponsive and will not be reviewed or considered (See Section III.D. of the FOA):

• Applications that fall outside the technical parameters specified in Sections

I.A. and I.B. of the FOA.

• Applications for proposed technologies that are not based on sound scientific principles (e.g., violates the laws of thermodynamics).

• Area of Interest 1 only: Applications that do not primarily focus on the required areas described in Section I.B.i.

• Area of Interest 2 only: Applications that do not align with the definition of battery as described in Section I.B.ii of the FOA.

D. Community Benefits Plan: Job Quality and Equity To support the goal of building a clean and equitable energy economy, BIL-funded projects are expected to (1) support meaningful community and labor engagement; (2) invest in quality jobs; (3) advance diversity, equity, inclusion, and accessibility (DEIA); and (4) contribute to the President’s goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities (the Justice40 Initiative).20 To ensure these goals are met, applications must include a Community Benefits Plan that describes how the proposed project would incorporate the four objectives stated above.

20 The Justice40 Initiative, established by EO 14008, sets a goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities. Consistent with Justice40 guidance, DOE recognizes disadvantaged communities as the census tracts defined and identified as disadvantaged by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/, as well as all Federally Recognized Tribes (whether or not they have land).

See https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf.

mailto:DE-FOA-0003376@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://screeningtool.geoplatform.gov/ https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf

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Applicants are encouraged to submit Community and Labor Partnership Documentation from Federally Recognized Indian Tribes and established labor and community-based organizations that demonstrate the applicant’s ability to achieve the above goals as outlined in the Community Benefits Plan. Within the Community Benefits Plan, the applicant is encouraged to provide details on how to ensure the delivery of measurable community and jobs benefits, ideally using negotiated agreements between the applicant and the community, and/or the applicant and labor unions referred to collectively here as “Workforce and Community Agreements.” These include community benefits agreements, Tribal agreements, community workforce agreements, project labor agreements, and other collective bargaining agreements. See Section IV.C.v. for the Community Benefits Plan content requirements.

E. Authorizing Statutes The programmatic authorizing statute for Area of Interest 1: Public Law 117-58 Infrastructure Investment and Jobs Act of 2021 (referred to as BIL) Section 40534 (codified at 42 U.S.C § 18814.)

The programmatic authorizing statute for Area of Interest 2: Public Law 117-58 Infrastructure Investment and Jobs Act of 2021 (referred to as BIL), Section 40207(f)(3).

Awards made under this announcement will fall under the purview of 2 CFR Part 200 as adopted and supplemented by 2 CFR Part 910.

F. Notice of Bipartisan Infrastructure Law–Specific Requirements Be advised that special terms and conditions apply to projects funded by the BIL relating to:

• Cybersecurity Plan (Area of Interest 2);

• Davis-Bacon Act (Area of Interest 2);

• Reporting, tracking, and segregation of incurred costs;

• Reporting on job creation and preservation;

• Publication of information on the internet;

• Access to records by Inspectors General and the Government Accountability

Office;

• Requiring all of the iron, steel, manufactured goods, and construction materials used in the infrastructure activities of applicable projects are produced in the United States;

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• Protecting whistleblowers and requiring prompt referral of evidence of a false claim to an appropriate inspector general; and

• Certification and registration.

Recipients of funding appropriated by the BIL must comply with requirements of all applicable federal, state, and local laws, regulations, DOE policy and guidance, and instructions in this FOA. Recipients must flow down the requirements to subrecipients to ensure the recipient’s compliance with the requirements.

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II. Award Information

A. Award Overview

i. Estimated Funding DOE expects to make a total of approximately $63,000,000 of federal funding available for new awards under this FOA, subject to the availability of appropriated funds. DOE anticipates making approximately 10 – 13 awards for AOI 1, and 10 – 25 awards for AOI 2 under this FOA. DOE may issue one, multiple, or no awards. Individual awards may vary between $1,000,000 and $2,000,000 for AOI 1 and $250,000 and $10,000,000 for AOI 2.

DOE may issue awards in one, both, or neither of the following AOIs:

AOI

Number AOI Title

Anticipated Number of

Awards

Anticipated Minimum

Award Size for Any One Individual

Award (Fed Share)

Anticipated Maximum Award Size for Any One Individual

Award (Fed Share)

Approximate Total

Federal Funding

Available for All Awards

Anticipated Period of

Performance (months)

1 State Manufacturing Leadership Program 10-13 $1,000,000 $2,000,000 $22,000,000 Up to 36 months

State and Local Battery Collection, Recycling, and Reprocessing

Program

10-25 $250,000 $10,000,000 $41,000,000 36-60 months

DOE may establish more than one budget period for each award and fund only the initial budget period(s). Funding for all budget periods, including the initial budget period, is not guaranteed.

ii. Period of Performance DOE anticipates making awards that will be comprised of multiple budget periods.